Seth D. Lewis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Seth David Lewis, who also goes by David Seth Lewis, David Seth Lewis, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2002. Seth had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2006 - November 18, 2013
TROUT CAPITAL LLC
January 31, 2003 - January 13, 2005
CITIGROUP GLOBAL MARKETS INC.
December 19, 2002 - January 13, 2005
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TROUT CAPITAL LLC
CRD#: 131489 / SEC#: , 8-66474
Contact information
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
